AWARD NASD Regulation, Inc. CASE: 98-01638 Richard E. Blalock, claimant vs. First Republic Group, LLC, Scott Belton and Tony LaGrega, respondents. ATTORNEYS: Claimant appeared Pro Se. - Zachary, LA. For respondent First Republic Group, LLC, appeared William Branucci - New York, NY. Respondent Scott Belton appeared Pro Se. - New York, NY. Respondent Tony LaGrega appeared Pro Se. - New York, NY. DATE FILED: 5/4/98 CASE SUMMARY: Claimant allege

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William D. Moriarty, Individually, and William D. Moriarty IRA, for the Benefit of William D. Moriarty (Claimants) vs. First Financial Planners, Inc., FFP Advisory Services, Inc., FFP Securities, Inc., and Roy M. Henry (Respondents) Case Number: 98-01633 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant(s), William D. Moriarty, Individually, and William D. Moriarty

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated vs. Case No. 98-01632 Names of Respondents Blake Russ BMR Consultant, Inc. a/k/a BMR Consultants, Inc. BAM Trucking, Inc. REPRESENTATION For Claimant Tucker Anthony Incorporated ("Claimant") appeared Marc S. Dobin of the firm Dobin & Jenks, LLP, located in Jupiter, Florida. Respondent BMR Consultant, Inc. a/k/a BMR Co

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01628 Thai M. Phan and Ngo D. Duong, claimants vs. Tom Antonucci, respondent. ATTORNEYS: Claimants appeared Pro Se. - Denver, PA. For respondent appeared Joseph Mendola - New York, NY. DATE FILED: 5/1/98 CASE SUMMARY: Claimant alleged error in execution of trade and unauthorized trading. Claim Data Award Data Claim: $5,668.75 Award: $.00 Other: $.00 Other: $.00 AWARD: The undersigned arbitrator has

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Nugent, Claimant vs. Dean Witter Reynolds Inc., Respondent and Cross-Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Cross-Respondent, Michael Nugent, Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. Consolidated Case Numbers: 98-01625 and 99-05375 Hearing Site: San Francisco, California REPRESENTATION QF PARTIES Claimant, Michael Nug

. 17.1999 3: 0 4PM AWARD NASD Regulation,, Inc. In the Matter of the Arbitration Between Names of Claimants Tim & Trade Rovig , 98-01623 Names of Respondents Victor Wang Charles Cooke Mathew Sultan Abraham Mirrnan Gregg Adam Thaler Mitchell Bain Charles T. Bennett Duke & Co., Inc, REFRESENTATIQN For Claimants: Michael G. Regas, n, Esq. of the law firm of Kievolin & Horst, LLC, Atlanta, Georgia. For Res

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Travis B. Wilson, Claimant v. Financial West Group, Inc., Ted Garrington, John Phillips,'Jeffrey Janda, and Janda, Phillips, and Garrington, LLC (a.k.a. Hampton-Porter Investment Bankers), Respondents. Case Number: 98-01621 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondent, Financial West Group, Inc. For Respondents, Ted Gar

'JUN. 1.1999' 3= 19PM N0.9G9 P.2S AWARD NASD HflflulatJon, Inc. In the Mart* ol the Arbitration Between: of Claimate Two B Printing, Inc. and William T. Schanden NASD CASE NO. 98-01617 Names of Rasoondants Investors Associates, Inc. Thomas Corey Kipp REPRESENTATION For Claimanti Two 6 Printing, Inc. |* Two B*) and Wilton T. Schendgn ("Schendfln"}: David A. Weintraub, Esq. of David A. Weintraufa, PA,, I art Laudartole, Florida.

NO.534 P.36 ftUG. 5.1999 9=34PM »"*• ji AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant *• John Quacfcenbush 98-01614 Names of Respondents D,H, Blair A Company, Inc. Adam Rentzer REPRESENTATION For Claimant John Quackeabush ("Quackenbush"): Dan A, Druz, Esq. of Manasquan, New Jersey. For Respondents D.H. Blair & Company, Inc. ("D.H. Blair") and Adam Rentzer ("Rentzer"): Theodo

Award NASD Dispute Resolution, Inc. In the Matter Salomon Smitr Case Number: pf the Arbitration Between: Norman Diamond vs. Joseph Andreoli and Barney, Inc. 00-003027 Hearing Site: E>allas, Texas REPRESENTATION OF PARTIES Claimant, Norman Diamond ("Diamond"), hereinafter referred to as "Claimant": Michael G. O'Neill, Esq., Law Offices of Michael O'Neill, Dallas, Texas. Respondents, Joseph Andreoli ("Andreoli") and Salomon Smith Barney, I